- TD Bank (New York, NY)
- …this role **Job Description:** **Preferred Qualifications:** TD Securities is looking for a broker - dealer accountant to join its Product Control division in New ... : United States of America **Hours:** 40 **Line of Business :** Finance **Pay Detail:** $60,000 - $135,00 USD TD...books and records and regulatory filings for its US broker -dealers as well as non broker dealers.… more
- Wellington (New York, NY)
- …sales and marketing compliance program, with a particular focus on our broker - dealer , Wellington Funds Distributors (WFD). The Compliance Analyst will be a ... with those of our clients. **About the Role** **Compliance analyst , client platform Compliance** Position overview The Sales and... (WFD) + Maintain policies & procedures related to broker dealer and sales & marketing activities… more
- Scotiabank (New York, NY)
- …tests to ensure adequate controls over finance functions (eg, banking & broker - dealer activities/reporting) and validate source documents. + Maintain a thorough ... Senior Analyst , US Finance & Regulatory Reporting, New York...appropriate audit plans/activities for assigned areas (eg, banking & broker - dealer regulatory reporting, financial reporting, product control,… more
- TD Bank (New York, NY)
- …TD Private Client Wealth,(TDPCW), a US registered Investment Advisory Service and a US Broker Dealer and TD Wealth Management Services Inc.(TDWMSI), with a focus ... Business :** TD Wealth **Job Description:** The Principal Review Analyst II is a FINRA and SEC regulatory supervisory...and suitability for and trades executed in the TDPCW Broker Dealer and Registered Investment Advisor, as… more
- Equitable (New York, NY)
- …restructurings to optimize fund profitability + Contributing to regular discussions with the broker dealer related to the group's model portfolios and retail ... Financial Analyst , Equitable Investment Management ( 240000HT ) **Primary...help to drive strong collaboration between EIMG and the Business and to improve efficiency and productivity of the… more
- Insight Global (New York, NY)
- …Experience in the financial services industry, either working for an investment manager, broker dealer , law firm, accounting firm, or regulator . Financial ... Job Description Insight Global is seeking a Compliance Testing Analyst for a major financial services client in NYC. The role requires a proactive, solution-oriented… more
- MUFG (New York, NY)
- …+ Preparation of daily 15c3-1 daily net capital computation for MUFG US Broker Dealer . + Compute moment-to-moment capital charges on underwriting deals. + ... will provide more details. **Job Summary:** The Regulatory Reporting Analyst reports to the Regulatory Reporting Manager and is...workforce to create opportunities for our colleagues and our business . We do not discriminate on the basis of… more
- Bloomberg (New York, NY)
- …one -Experience in public accounting -Experience in financial services industry -Specific broker dealer or other regulated entity regulatory reporting experience ... we are committed to providing world-class support to our business partners by providing insight on business ...the Chief Accounting Office is seeking a Senior Accounting Analyst . The team is committed to provide high quality… more
- Mizuho Corporate Bank (New York, NY)
- …7+ years experience with handling compliance issues in a US financial institution/ broker dealer , including related to insider trading monitoring, and information ... Compliance Surveillance Analyst Essential Duties & Responsibilities: + Maintain and...box and provide Policy guidance to employees, vendors, and business partners' inquiries in a timely manner. + Assess… more
- Wells Fargo (New York, NY)
- …a fast-paced deadline driven environment + Comprehensive knowledge and understanding of broker - dealer channel **Job Expectations:** + US Only: Obtaining and/or ... this role:** Wells Fargo is seeking a Client Performance Analyst 3 in Wealth and Investment Management as part...Learn more about our career areas and lines of business at wellsfargojobs.com . **In this role, you will:**… more
- JPMorgan Chase (New York, NY)
- …+ Build and maintain relationships with investment bankers and analysts, the broker - dealer community, rating agencies, and legal professionals, among other ... bonds, structured products, mortgages and tax-aware strategies. As a Municipal Research analyst in the Municipal Fixed Income Research team, you will work closely… more
- MUFG (New York, NY)
- … business analyst or market operations role, preferably within a broker - dealer or financial institution + Thorough understanding of financial markets, and ... documentation submission required by the regulatory bodies for the broker - dealer 's onboarding process + Assist with system...workforce to create opportunities for our colleagues and our business . We do not discriminate on the basis of… more
- Morgan Stanley (New York, NY)
- …relationships preferred. - Established relationships with decision makers at national broker / dealer and distribution platform. - Successful track record of ... partner with National Accounts, Sales, Product and Marketing to drive research analyst recommendations, model placement, and assist in overall visibility of MSIM/EV… more
- Morgan Stanley (New York, NY)
- …experience including US securities laws or regulatory experience. Experience with broker - dealer rules (including for example, rules concerning conflicts, ... globally to the equity, fixed income and quantitative research business and will be located in Midtown Manhattan. The...all relevant aspects of regulatory guidelines including the SRO analyst independence rules, Regulation AC, the global research … more
- SMBC (New York, NY)
- …**Qualifications and Skills** * 6+ years of experience in Fixed Income domain as business analyst or product strategist, with focus on Rates & Credit for ... its employees. **Role Description** * Responsible for understanding FIST business needs, trends and goals. Identify gaps in the...both cash and derivatives * Solid knowledge of broker - dealer /investment banking environment, sales & trade flows… more